WALKER FINANCIAL ADVISORS INC
WALKER FINANCIAL ADVISORS, INC. DBA CALIFORNIA 457 BENEFITS Legal Name
Adviser information for WALKER FINANCIAL ADVISORS INC last updated from Form ADV on March 25th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 3 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 351 | $163.5M |
| Non-Discretionary | 1 | $26.8M |
| Total | 352 | $190.3M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 114 | $46.9M |
| HNW Individuals | 51 | $116.6M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $26.8M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 5 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 11-25 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesPublication of periodicals or newsletters |
|---|---|
| Compensation | % of AUMHourly chargesFixed fees |
Identifiers
| SEC RIA File Number | 801-113658 |
|---|---|
| SEC ERA File Number | 801-113658 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106268 |
| Legal Entity Identifier | None |
Principal Office
27201 PUERTA REAL, SUITE 465MISSION VIEJO
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 949-367-1961, Fax: 949-367-1887
Websites
Chief Compliance Officer
WARREN B. ISENBERG
PRESIDENT
27201 PUERTA REAL, SUITE 465
MISSION VIEJO
CA
United States
Tel:
9493671961
Fax:
9493671887
W*****@******************M
(Full email address available in API data)
Regulatory Contact
SCOTT D. WALKER
CHAIRMAN & CEO
27201 PUERTA REAL, SUITE 465
MISSION VIEJO
CA
United States
Tel:
949-367-1961
S****@******************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WALKER, SCOTT, DOUGLAS | Individual | – | CHAIRMAN & CEO | 01/1998 | < 5% |
| ISENBERG, WARREN, BOYD | Individual | – | PRESIDENT & CCO | 01/2002 | < 5% |
| WALKER FAMILY TRUST DATED 08/14/1996 | Domestic Entity | – | REVOCABLE LIVING TRUST | 08/1996 | > 75% |
| WALKER, SCOTT, DOUGLAS | Individual | WALKER FAMILY TRUST DATED 08/14/1996 | TRUSTEE | 08/1996 | > 75% |